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How To Know Your Business

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Date:

Business Account Opening Form

Note: For Bank Use Only

Please complete in block letters and tick where applicable Customer / Account Number

Account Type

Current Account Currency:

Statement Saving Account Currency:

Multi Currency Statement Saving Currency:

Corporate Renminbi Saving Account* Currency:

Others (Please specify)

* For applying Corporate Renminbi Savings Account: Customer must provide a separate Corporate RMB Services Application Form

1. Entity Details (Mandatory)

Company Information

Certificate of Incorporation Number

Business Registration Number

Others

Same as Registered name

Others (please specify):

Limited Company

Macau SA / SARL Company

Partnership

Sole Proprietorship

Association (NPO/NGO/Charity/Others: )

Yes

No

(Only for Limited Company and applicable for all intermediate layers of the company)

Registered Share

Bearer Shares Deposited with Custodian

Bearer Shares not Deposited with Custodian Name of State or Government

Yes, referred by:

No Listing on Stock Exchange

Type of Issued Shares

Countries with HSBC Business Account (if any)

Were you introduced / recommended to HSBC

Entity Type

Name of Stock Exchange

State or Government Owned Entity (Must be completed if Company is owned directly or indirectly by State

or Government over 50%) Ownership (%) Registration / Incorporation Document Date of Registration (Day/Month/Year) Country of Registration

Registered Name in English

Trading As Name(s) in English

(2)

2. Commercial Details (Mandatory)

A. Business Information

Industry: ( % of Turnover)

Industry: ( % of Turnover)

Industry: ( % of Turnover)

(Countries where your business has physical presence including all subsidiaries, branches and offices)

Number of Employees In Macau: In HK: In Other Area:

Start-up Company

Investment/Property Holding Company

Outsourcing

Project-based Business

Others (please specify): (Select all that apply)

Business Income and Profit

Investment by Ultimate Beneficial Owner / Partner

Sale of Property / Asset

Intra-group Financing

Others (please specify):

(Only for sole Proprietorship - Select all that apply)

Business ownership

Personal Savings/Investment

Sale of Property / Asset

Inheritance

Pension

Others (please specify): (Select all that apply)

Business Income and Profit

Investment by Ultimate beneficial Owner / Partner

Sale of Property / Asset

Intra-group Financing

Others (please specify):

Annual Business Turnover

Asset Size

Asset under Management Amount (Currency) Current Year: Projected for Next Year:

1 2 3 4 5 6 7 8 Country Registered Name

"Trading As" Name

(If different from Registered Name) Date Business Commenced

(Month/Year) Years

Country where major Business is Carried Out

Years of Experience in business

Country where Head office is Located

Country of Source of Funds for Account Opening

Expected Source of Funds (e.g. source of business' initial deposits

Reason(s) why your business has no employees, if applicable

Principal Source of Wealth (e.g. activities that generate the business' accumulated capital and ongoing deposits)

Principal Source of Wealth of Business Owner

Countries with Physical Presence Nature of Business/Industry

Nature of Products/Services Offered (e.g. toys/garments)

% of Sales

Top 10 Countries of Revenues, Purchases and Assets held Key Customer who Accounts for More Than 50% of Total Sales (if any)

(3)

2. Commercial Details (Continued)

B. Account Transaction Information

Business Operations

Saving / Fixed Deposit

Investment

Intercompany Settlement

Others (please specify): (Only for sole Proprietorship)

Yes

No

Currency Amount Transaction Type

Cash ( %)

International Payments ( %)

Others (e.g. cheque / transfer) ( %) Currency Amount Transaction Type

Cash ( %)

International Payments ( %)

Others (e.g. cheque / transfer) ( %)

Yes, please provide details:

No

C. Other Business Information

Yes

No

No

3. Contact Details (Mandatory)

Same as above

Other address:

Same as above

Other address:

City: Country:

City: Country:

City: Country: Postal Code

(For overseas Address Only) Have there been material changes to

your business in the last five years

(e.g. Changes to ownership, company name, parent company, countries of operation, nature of business, products/services) Yes, please provide details

Correspondence address and Statement to be sent to

Postal Code

(For overseas Address Only) Expected Monthly Outflows

Expected Seasonal Trends Expected Monthly Inflows Reason(s) for setting up Account in Macau

(If the company does not have regular business presence e.g. staff/office in Macau)

Purpose of Opening Account

Do you manage funds on behalf of third parties

Registered Address in Place of Incorporation

Business Address

Do you or your Group Company do business in any sanctioned country

Name of sanctioned Country

Postal Code

(4)

3. Contact Details (Continued)

1. 2.

1. 2.

Business Website URL (if any)

Mr

Mrs

Miss

Ms

Mr

Mrs

Miss

Ms

4. Bank Services (Mandatory)

2. Cheque book(s) to be Collected at branch.

by me

by (name) (ID)

Mail to me (follow the correspondence/statement address of the account) Type of Statement Required:

Composite Statement (one single statement for all your accounts with the Bank)

Regular Statement (separate statement for each account)

Monthly commencing on month end

Others (please specify):

English

Chinese

Language:

Account Statement is to be sent and arranged by the Bank, as specified below: Account Statement

(For Statement Savings and Current Accounts only)

Telephone Number

Mobile Number

Business Email Address (if any)

Job Title

Telephone Number

Mobile Number Office Telephone Number

Office Fax Number

Power of Attorney address (if applicable)

Previous business address(es) (if resident at current address for less than 3 years, please fill in all previous address(es) for the past 3 years)

Details of Contact Person(s) (For banking and direct marketing information purposes only.)

Job Title Email Address

Cheque Book Application

cheque book(s) HKD

1. Please supply us with

(5)

5. Details of Connected Parties (Mandatory)

More than 4 Connected Individuals

More than 1 Connected Parent Company

More than 2 Connected Corporate Entities

Definition: ▲ Beneficial Owner

* Intermediate Owner:

^ Key Controller:

• Chief Executive Officer (CEO) / Managing Director • Chairman of the Audit / Remuneration / Risk Committee • Chief Financial Officer (CFO) / Head of Finance • Authorised Signatory with sole signing authority • Chief Operating Officer (COO) / Head of Operations • Nominee

• Managing Partner • Powers of Attorney

• Chairman / Deputy Chairman of the Board

# Direct Appointee

Intermediate Owner is an entity or legal arrangement (e.g. Trust, Foundation etc.) that sits between the entity and the Ultimate Beneficial Owner in the ownership structure.

Key Controller is an individual appointed to exercise direct control over the entity, by participating in the governance or senior / executive activities of the business. Key Controller typically sets the strategic direction of the entity and exercises control jointly with other directors or senior executives. It can be a corporate entity. Key Controllers include:

1. In relation to a corporation (if fulfils any of the following criteria): means an individual who:

- owns or controls, directly or indirectly, including through a trust or bearer share holding, not less than 10% of the issued share capital of the corporation or,

- is directly or indirectly, entitled to exercise or control the exercise of not less than 10%of the voting rights at general meetings of the corporation or,

- exercises ultimate control over the management of the corporation or, - If the corporation is acting on behalf of another person, means the other person.

Direct Appointee is an individual authorised under an executed instrument of the entity to act on its behalf with respect to the banking relationship, and to appoint authorised signatories or delegate authority to others to represent the business in limited circumstances, e.g. the Company secretary. Direct Appointee is typically appointed by the Board of Directors or Key Controllers. It can be a corporate entity. 4. In relation to a person other than (1)to (3) (if fulfils any of the following criteria): means an individual who:

- ultimately owns or controls the person; or

- if the person is acting on behalf of another person, mean the other person

3. In relation to a trust (if fulfils any of the following criteria): means an individual who:

- is entitled to a vested interest in not less than 10% of the capital of the trust property, whether the interest is in possession or in the remainder or reversion and whether it is defeasible or not; or

- the settlor of the trust; or

- a protector or enforcer of the trust; or

- an individual who has ultimate control over the trust

2. In relation to a partnership (if fulfils any of the following criteria): means an individual who: or

- is entitled to or controls, directly or indirectly, not less than 10% share of the capital or profits of the partnership; or

- is directly or indirectly, entitled to exercises or control the exercise of not less than 10% of the voting rights in the partnership; - exercises ultimate control over the management of partnership; or

- If the partnership is acting on behalf of another person, means the other person

(6)

5. Details of Connected Parties (Continued)

A. Individuals

Mr

Mrs

Miss

Ms

Sole Proprietor

Partner

Director

Authorised Signatory

Beneficial Owner (Ownership %)

^Key Controller

#Direct Appointee

Macau Permanent Identity Card

Passport

HK Permanent Identity Card

Other:

Yes

No

Multiple Nationalities Country of Birth

Nationality 2 Nationality 3

Full name in Chinese

Former Name / Alias

Nationality 1

Capacity of Connected Party

Identification Document Type and Number

(I) Full Name in English

Mobile Telephone Number Job Title

Previous Address

(If the current residential address is less than 3 years)

City:

Address Since Date (Month/Year)

Country: Office Telephone Number

Email Address Date of Birth

(Day/Month/Year)

Permanent Address (If different from residential address)

Number:

(7)

5. Details of Connected Parties (Continued)

A. Individuals (Continued)

Mr

Mrs

Miss

Ms

Sole Proprietor

Partner

Director

Authorised Signatory

Beneficial Owner (Ownership %)

^Key Controller

#Direct Appointee

Macau Permanent Identity Card

Passport

HK Permanent Identity Card

Other:

Yes

No

Residential Address

City: Country:

Email Address (II) Full Name in English

Previous Address

(If the current residential address is less than 3 years)

Permanent Address (If different from residential address)

Number:

Multiple Nationalities

Nationality 2 Nationality 3

Nationality 1

Address Since Date (Month/Year) Mobile Telephone Number

Office Telephone Number Date of Birth

(Day/Month/Year) Job Title

Country of Birth Capacity of Connected Party

Identification Document Type and Number

(8)

5. Details of Connected Parties (Continued)

A. Individuals (Continued)

Mr

Mrs

Miss

Ms

Sole Proprietor

Partner

Director

Authorised Signatory

Beneficial Owner (Ownership %)

^Key Controller

#Direct Appointee

Macau Permanent Identity Card

Passport

HK Permanent Identity Card

Other:

Yes

No

Residential Address

City: Country:

Email Address (III) Full Name in English

Permanent Address (If different from residential address)

Job Title

Nationality 1

Office Telephone Number

Mobile Telephone Number

Previous Address

(If the current residential address is less than 3 years)

Number:

Address Since Date (Month/Year) Country of Birth

Multiple Nationalities

Nationality 2 Nationality 3

Identification Document Type and Number

Date of Birth (Day/Month/Year) Full name in Chinese

Former Name / Alias

(9)

5. Details of Connected Parties (Continued)

A. Individuals (Continued)

Mr

Mrs

Miss

Ms

Sole Proprietor

Partner

Director

Authorised Signatory

Beneficial Owner (Ownership %)

^Key Controller

#Direct Appointee

Macau Permanent Identity Card

Passport

HK Permanent Identity Card

Other:

Yes

No

Residential Address

City: Country:

Permanent Address (If different from residential address)

Address Since Date (Month/Year) (IV) Full Name in English

Previous Address

(If the current residential address is less than 3 years)

Mobile Telephone Number

Nationality 2 Nationality 3

Full name in Chinese

Former Name / Alias

Capacity of Connected Party

Office Telephone Number

Email Address Nationality 1 Job Title Number: Country of Birth Multiple Nationalities Date of Birth (Day/Month/Year)

(10)

5. Details of Connected Parties (Continued)

B. Parent Company (Principal Shareholder)

Certificate of Incorporation number: Business Registration Certificate number: Certificate of Incumbency:

Certificate of Good Standing: Others:

Year of Registration

Yes

No

Yes

No

Companies Registry of the Macau Special Administrative Region

Companies Registry of the Hong Kong Special Administrative Region

Registrar of Corporate Affairs of the British Virgin Islands

Registrar of International and Foreign Companies of Samoa

Registrar of International Business Companies of Seychelles

Registrar of Companies for England and Wales

State Administration for Industry and Commerce of the Peoples Republic of China

Others (please specify):

Mr

Mrs

Miss

Ms

Macau Permanent Identity Card

Passport

HK Permanent Identity Card

Other:

Nationality

Residential Address Name of Issuing Authority of Registration / Incorporation Document Represented by (Full Name) Country: Job Title Registered Name in English in Chinese Registration/Incorporation Document

Name of Stock Exchange Country of Registration

Listing on Stock Exchange

City:

Regulated Financial Institution in a FATF Member Equivalent Country

Registered Address

Number: Identification Document Type

and Number

Date of Birth (Day/Month/Year) Nature of Business / Industry

(11)

5. Details of Connected Parties (Continued)

C. Corporate Entities

Director

Authorised Signatory

Beneficial Owner (Ownership %)

^Key Controller

#Direct Appointee

Certificate of Incorporation number: Business Registration Certificate number: Certificate of Incumbency:

Certificate of Good Standing: Others:

Year of Registration

Yes

No

(Only for Intermediate Owner)

Yes

No

Mr

Mrs

Miss

Ms

Macau Permanent Identity Card

Passport

HK Permanent Identity Card

Other:

Residential Address

Permanent Address (If different from residential address)

Represented by (Full Name)

Date of Birth (Day/Month/Year)

Identification Document Type and Number

Registration/Incorporation Document

Country of Registration

Regulated Financial Institution in a FATF Member Equivalent Country

Registered Address

Nationality Job Title

(I) Registered Name

City: Country:

Name of Stock Exchange

Number: in English

in Chinese

Capacity of Connected Party

(12)

5. Details of Connected Parties (Continued)

C. Corporate Entities (Continued)

Director

Authorised Signatory

Beneficial Owner (Ownership %)

^Key Controller

#Direct Appointee

Certificate of Incorporation number: Business Registration Certificate number: Certificate of Incumbency:

Certificate of Good Standing: Others:

Year of Registration

Yes

No

(Only for Intermediate Owner)

Yes

No

Mr

Mrs

Miss

Ms

Macau Permanent Identity Card

Passport

HK Permanent Identity Card

Other: Registered Address

City: Country:

Permanent Address (If different from residential address)

Capacity of Connected Party

Registration/Incorporation Document

Country of Registration (II) Registered Name

Listing on Stock Exchange Name of Stock Exchange

Residential Address

Regulated Financial Institution in a FATF Member Equivalent Country

Represented by (Full Name)

Date of Birth (Day/Month/Year)

(13)

Declaration

1.

2.

3. For Limited Company

4.

5. For Corporate Renminbi Savings Account customers ONLY (but without prejudice to the above clauses) i)

ii)

6. For Sole Proprietorship or Partnership

7. For Limited Company

I/We am/are not a bankrupt or discharged bankrupt/insolvent or in liquidation. I/we have no intention to declare bankruptcy or commence voluntary winding-up and I/we am/are not aware of any bankruptcy/winding-up proceedings started against me/us. In case of a partnership, I/each of us hereby undertake to notify you in writing of any change in the persons comprising the business and partnership immediately upon such change taking effect. I/We hereby confirm that I/we am/are not a resident of the United States of America (“US”), Canada (“CN”) and /or South Korea (“KR”), whether for the US, CN and/or KR securities or tax laws or for any other purposes.

I/We also confirm that I/we am/are not acting as agent on behalf of any US, CN, and/or KR resident/citizen. I/We confirm that my/our registered, correspondent and/or business address(es) is/are not in the US, CN and /or KR.

I/We undertake to immediately notify the Bank should I/we become or be deemed to be resident of US, CN and/or KR in any future time. I/We undertake to supply the Bank with certified copies of any replacement or supporting documents which I/we have provided to the Bank for the purposes of opening an account with the Bank immediately upon occurrence of any changes thereto.

We confirm that the company has not been, or is not in the process of being, dissolved, struck off, wound-up or terminated.We hereby confirm that the Company is not a company incorporated in the United States of America (“US”), Canada (“CN”) and/or South Korea (“KR”) and its registered, correspondent and/or business address(es) is/are not in the US, CN and/or KR.

We confirm that all persons authorized to give instructions in relation to the Company’s account(s) held with the Bank are not resident in the US and/or CN whether for tax, securities laws of the US and/or CN or any other purposes.

We undertake to notify the Bank immediately if any such person(s) of the Company becomes or is deemed to be resident of the US and/or CN at any future time.

We also confirm that we are not acting as agent on behalf of any US, CN and/or KR resident/citizen.

We undertake to supply the Bank with certified copies of any replacement or supporting documents which we have provided to the Bank for the purposes of opening an account with the Bank immediately upon occurrence of any changes thereto.

I/We confirm that the information given in this form is correct and complete, and authorize The Hongkong and Shanghai Banking Corporation Limited, acting through its Macau Branch, (the "Bank") to confirm this from any source the Bank may choose. I/We agree that such

information will be used for this application and other purposes that the Bank deems appropriate, including the the purposes set out in the General Terms and Conditions (For Personal Sole Account, Joint Account and Business Account Holders) .

I/We have read, understood and agree to be bound by the General Terms and Conditions (For Personal Sole Account, Joint Account and Business Account Holders) and Renminbi Savings Account Rules (For Personal Renminbi Savings Account, Corporate Renminbi Savings Account) if the application is in respect of a Renminbi Corporate Savings Account (collectively the "Terms") and acknowledge receipt of a copy of the Terms. I/We confirm that I/We have been given the opportunity to ask questions about the terms and conditions and have received satisfactory explanations from the Bank where applicable. I/We understand and agree: (i) the Terms cover and apply to a wide range of services and accounts provided under the account; (ii) the Bank may at any time at the Bank's sole discretion vary the Terms with prior notice using any method, including by way of display of such notice in the Bank;s premises; and (iii) that the services provided to, and each account opened by, me/us from time to time, under the account will be subject to the Terms as may be varied and supplemented from time to time.

I/we waive the Bank's duties of bank secrecy regarding the information sharing under the terms and agree (where applicable) to the potential tax withholding thereunder. Where I/we have provided personal data of any other third party, I/we hereby declare that I/we have obtained all corresponding consents, agreements and waivers as referred to in this clause from the relevant data subjects. I/We agree I/we will indemnify and hold the Bank harmless from all costs, penalties, damages and losses incurred as a result of this warranty and declaration being untrue and any other breach of this warranty and declaration.

I/We understand that the bank may request me/us to provide updated/additional information from time to time before and after the account is opened. On the basis of regulatory/legislation and related requirement, the bank may request documents such as Business Plan, Business Proof (e.g. invoice/sales contract ) and Bank Reference Letter etc. Failure to do so may result in the Bank’s inability to provide the requested banking service.

I/We understand the Corporate Renminbi Savings Account can only be used for conducting trade settlement transactions, or engaging in designated merchants or conducting such other transactions as allowed by the relevant authorities.

(14)

Signature(s)

X X

Signature and /or Chop Signature and /or Chop

Full Name of Signatory(ies) Full Name of Signatory(ies)

X X

Signature and /or Chop Signature and /or Chop

Full Name of Signatory(ies) Full Name of Signatory(ies)

X X

Signature and /or Chop Signature and /or Chop

Full Name of Signatory(ies) Full Name of Signatory(ies)

***This form should be signed in accordance with the Mandate

Remark: Please refer to Account Opening Checklist and Macau Commercial Customer Tariffs for initial deposit and tariffs details:

www.hsbc.com.mo

*Schedule

Terms and Conditions that Apply

General Terms and Conditions (For Personal Sole Account, Joint Account and Business Account Holders)

Service

All Accounts

Renminbi Savings Account Rules (For Personal Renminbi Savings Account, Corporate Renminbi Savings Account)

(15)

For Bank Use Only

Face-to-face Interview

Conducted

Face-to-face Meeting Date:

Not Conducted

Not Applicable for Additional Account Opening

KYC Approach - Risk Level

Low

Normal

High

SCC

Other Customer Information KYC Completion Date:

(dd/mm/yy)

References

Related documents

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